Our Staff has compiled our research into a database of FINRA Broker Disclosures for Royal Alliance Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Elisabeth Hickox | 1542335 | 3 | 02/04/2019 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Craig Smith Senn | 866245 | 5 | 01/16/2019 | Customer Dispute | Denied | $9,800.00 | $0.00 | See FINRA Report |
| Kent Alan Hilton | 1607376 | 2 | 01/14/2019 | Customer Dispute | Denied | $219,741.00 | $0.00 | See FINRA Report |
| James Byron Underhill | 2848252 | 2 | 12/20/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Maurice Daniel | 823525 | 2 | 12/18/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Edward Burk Meinen | 1423937 | 1 | 12/06/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Andrew William Moulton | 4035285 | 2 | 11/29/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jonathan D Lawry | 4674432 | 1 | 07/30/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Defreitas | 5649497 | 1 | 07/30/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Helen Dorothy Hein | 2017520 | 1 | 07/23/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |